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Budhu
http://bcs.wiley.com/he-bcs/Books?action=index&itemId=0470556846&bcsId=6153
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SOIL MECHANICS AND FOUNDATIONS

ON LINE COURSE
CHAPTER 12: BEARING CAPACITY AND
SETTLEMENT OF SHALLOW FOUNDATIONS
BOOK CHAPTER: 12
SECTION: 12.0 TO 12.12.2 PAGES: 422 TO 461
Developed by: Professor Muniram Budhu
University of Arizona Department of Civil Engineering & Engineering Mechanics
Email: budhu@email.arizona.edu
 3
Budhu Importance

 A geotechnical engineer must ensure that a foundation

satisfies the following two stability conditions:
 The foundation must not collapse or become unstable under any
conceivable loading. This is called ultimate limit state.
 Settlement of the structure must be within tolerable limits so as not to
impair the design function of the structure. This is called serviceability
limit state.
 Both requirements must be satisfied. Often, it is settlement
that governs the design of shallow foundations.
 4
Budhu Key terms

 Embedment depth (Df) is the depth below the ground surface where the bottom of
the foundation rests.
 5
Budhu Key terms

 Ultimate bearing capacity (qult) is the maximum vertical pressure that the soil can
support.
 Allowable bearing capacity or safe bearing capacity (qa) is the working pressure that
would ensure a margin of safety against collapse of the structure from shearing. The
allowable bearing capacity is usually a fraction of the ultimate net bearing
capacity.
 Factor of safety or safety factor (FS) is the ratio of the ultimate bearing capacity to
the allowable bearing capacity or to the applied maximum vertical stress. In
geotechnical engineering, a factor of safety between 2 and 5 is used to calculate
the allowable bearing capacity.
 BASIC CONCEPTS
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Budhu

 The analysis of a footing on a

soil is a contact problem of
two dissimilar bodies (soil and
foundation – concrete)
 Soil treated as ideal material
- elastic material or a linear
elastic-perfectly plastic
material or an elastoplastic
material or a rigid–perfectly
plastic material
 BASIC CONCEPTS - 1
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Budhu

 Uncontained plastic flow –

plastic zones will appear in
soil and soil will “pile-up” at
surface (failure mechanism).
 The surface between the
plastic zones and the non-
plastic or nondeforming zones
(applicable to rigid–perfectly
plastic material) is called a
slip surface or limiting stress
surface.
 BASIC CONCEPTS - 2
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Budhu

 The “pileup” is influenced by

 overburden pressure
 the strain-hardening ability of the
material.
 Contained plastic flow Failure not well defined
Failure load not reached
 If the footing is embedded in the soil No plateau in load-settlement results
and/or the soil has a large potential
to strain-harden, the plastic flow that
causes “pileup” of soil around the
edges of the footing would be  Failure may not be well
restrained, creating large lateral defined.
pressures to force the soil to move
laterally.  A failure mechanism may not
develop.
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Budhu
CONVENTIONAL BEARING CAPACITY FAILURE MECHANISM

 The rigid punch is assumed to

create two plastic zones
around it
 Each zone symmetrical about
a vertical plane (parallel to
the length of the footing)
through the center of the.
 One zone is a logarithmic
spiral wedge that merges with
a triangular wedge.
 BEARING CAPACITY ANALYSIS
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Budhu
 The ultimate load vertical
stress (the soil’s bearing
capacity) was derived using
the limit equilibrium method.
 The essential steps in the limit
equilibrium method are
 selection of a plausible
failure mechanism or
failure surface
 determination of the
forces acting on the
failure surface
 use of the equilibrium
equations that you
learned in statics to
determine the collapse
or failure load.
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Budhu
COLLAPSE LOAD USING THE LIMIT EQUILIBRIUM METHOD

 Strip footing on a stiff

clay. Undrained shear
strength, su
 Step 1: Select
plausible mechanism
Assume a semi-circular
failure mechanism
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Budhu
COLLAPSE LOAD USING THE LIMIT EQUILIBRIUM METHOD

 Step 2: Draw free

body diagram
The shear stress on the
failure surface is su
Both the normal stress
and the shear stress are
assumed to be uniform
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Budhu
COLLAPSE LOAD USING THE LIMIT EQUILIBRIUM METHOD

 Step 3: Use
equilibrium equation to
solve for Pu.
Neglect the soil mass
within the failure wedge
(weightless soil).
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Budhu
COLLAPSE LOAD USING THE LIMIT EQUILIBRIUM METHOD

 Solve for Pu using the

moment equilibrium
equation.
 Moment about A
B
Pu ×− su π B × B =0
2
 Solve for Pu

Pu = 6.28 Bsu
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Budhu
COLLAPSE LOAD USING THE LIMIT EQUILIBRIUM METHOD

 We do not know if the

failure mechanism we
selected will give the least
value of Pu. So we have to
select another plausible
mechanism and repeat
calculations.
Exact solution: Pu = 5.14 Bsu
 ISSUES WITH LIMIT EQUILIBRIUM METHOD
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Budhu

 Soil is idealized as a  The failure mechanism

rigid-perfectly plastic for soils is difficult to
material. predict.
 Soil deformation is
neglected.
 BEARING CAPACITY EQUATIONS
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Budhu

 Ultimate bearing capacity qu is net ultimate bearing capacity

qult = f(strength [su, φ′ ], unit weight, geometry, Nq and Nγ are bearing capacity factors
compressibility) that are functions of φ′p
Fine-grained soils (short- term) sc, sq and sγ are shape factors
Total stress analysis (TSA) dc, dq, dγ are embedment depth factors
qu = 5.14suscdc icbcgc ic, iq, iγ are load inclination factors
bc, bq, bγ are base inclination (base tilt)
All soils (long-term) factors
Effective stress analysis (ESA) gc, gq, gγ are ground inclination factors.
B′ is the equivalent footing
𝐪𝐪𝐮𝐮 = 𝛄𝛄𝐃𝐃𝐟𝐟 𝐍𝐍𝐪𝐪 − 𝟏𝟏 𝐬𝐬𝐪𝐪 𝐝𝐝𝐪𝐪 𝐢𝐢𝐪𝐪 𝐛𝐛𝐪𝐪 𝐠𝐠 𝐪𝐪 + 𝟎𝟎. 𝟓𝟓𝟓𝟓𝐁𝐁 ′ 𝐍𝐍𝛄𝛄 𝐬𝐬𝛄𝛄 𝐝𝐝𝛄𝛄 𝒊𝒊𝛄𝛄 𝐛𝐛𝛄𝛄 𝐠𝐠 𝛄𝛄
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Budhu
BEARING CAPACITY EQUATIONS – centric vertical loads

 The ultimate bearing capacity equations for centric

vertical loads
Fine-grained soils (short=term)
TSA: qult = 5.14suscdc

All soils (long-term)

ESA: qult = γ Df Nq sq dq + 0.5 γ B Nγ sγ dγ
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Budhu
BEARING CAPACITY FACTORS

 Nq (Terzaghi ,1943)  Nγ - Several equations proposed.

For this book use Davis and Booker
 φp′ 
=Nq e
π tan φ′p
tan 2  45° +  ; φ′p in degrees (1971) values. There are based on a
 2  refined plasticity method that gives
conservative values.
=N γ 0.1054 exp ( 9.6φ′p )
for rough footing; φ′p is in radians

=N γ 0.0663 exp ( 9.3φ′p )

for smooth footing; φ′p is in radians
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Budhu
GEOMETRIC PARAMETERS - TSA
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Budhu
GEOMETRIC PARAMETERS - ESA
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GRAPHICAL REPRESENTATIONS OF SHAPE AND DEPTH
Budhu
FACTORS
1,4
1,35
1,3
1,8 1,25
dc 1,2
1,7
φ′p = 35o 1,15
1,6 1,1
30o 1,05
1,5
1
sq 1,4 25o 0 0,5 1 1,5 2
20o Df/B
1,3
1,4
1,2
1,3
1,1
dq 1,2
1
0 0,2 0,4 0,6 0,8 1 1,1
B/L
1
0 0,5 1 1,5 2
Df/B
 ECCENTRIC LOADS
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Budhu

 Eccentric load: Location of the

resultant load (load center) is not My Mx
=
coincident with the centroid (center of
e B = ; eL
Vn Vn
area) of the footing
Vn is the resultant vertical load; Mx
 The distances from the center of the and My are the moments about the
area to the location of the vertical X and Y axes,
component of the resultant load are
eccentricities. Applied moments can
be converted to a vertical resultant
load at eccentricities, eB and eL.
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Budhu
FOOTING WIDTH CORRECTION FOR ECCENTRIC LOADS

 The footing dimensions are

theoretically adjusted to align the
load center with the centroid.
 STRESSES FROM ECCENTRIC LOADS
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Budhu

 The stresses due to a I is the second moment of area, y is

the distance from the neutral axis to
vertical load, Vn, at an the outer edge, A is the cross-
eccentricity, e, (moment sectional area, and Z is the section
modulus.
= Vne ) are rectangular section
Vn My Vn Vn ey Vn Vn e B3 L
σ= ± = ± = ± I B 2 L BL2
A I A I A Z Z= = 12 = or ,
y B 6 6
2
 STRESSES FROM ECCENTRIC LOADS - 1
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Budhu

 Maximum vertical stress  Minimum vertical stress

Along width Along width
𝑉𝑉𝑛𝑛 𝑉𝑉𝑛𝑛 𝑒𝑒 𝑉𝑉𝑛𝑛 6𝑒𝑒𝐵𝐵 𝑉𝑉𝑛𝑛 𝑉𝑉𝑛𝑛 𝑒𝑒 𝑉𝑉𝑛𝑛 6𝑒𝑒𝐵𝐵
𝜎𝜎𝑚𝑚𝑚𝑚𝑚𝑚 = + = 1+ 𝜎𝜎𝑚𝑚𝑚𝑚𝑚𝑚 = − = 1−
𝐴𝐴 𝑍𝑍 𝐵𝐵𝐵𝐵 𝐵𝐵 𝐴𝐴 𝑍𝑍 𝐵𝐵𝐵𝐵 𝐵𝐵
 STRESSES FROM ECCENTRIC LOADS - 2
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Budhu

 Maximum vertical stress  Minimum vertical stress

Along length Along length
𝑉𝑉𝑛𝑛 𝑉𝑉𝑛𝑛 𝑒𝑒 𝑉𝑉𝑛𝑛 6𝑒𝑒𝐿𝐿 𝑉𝑉𝑛𝑛 𝑉𝑉𝑛𝑛 𝑒𝑒 𝑉𝑉𝑛𝑛 6𝑒𝑒𝐿𝐿
𝜎𝜎𝑚𝑚𝑚𝑚𝑚𝑚 = + = 1+ 𝜎𝜎𝑚𝑚𝑚𝑚𝑚𝑚 = − = 1−
𝐴𝐴 𝑍𝑍 𝐵𝐵𝐵𝐵 𝐿𝐿 𝐴𝐴 𝑍𝑍 𝐵𝐵𝐵𝐵 𝐿𝐿
 MINIMUM WIDTH FOR ECCENTRIC LOADS
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Budhu

 Since the tensile  The eccentricities limits

strength of uncemented are
soil is zero, the 𝐵𝐵
𝑒𝑒𝐵𝐵 ≤ or 𝑒𝑒𝐿𝐿 ≤
𝐿𝐿
6 6
minimum vertical stress  Bmin = 6eB
cannot be less than
zero.  Lmin = 6eL
 GROUNDWATER EFFECTS
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Budhu

 The location of the

groundwater has
significant effects on the
long-term bearing  Situation 1. If the groundwater
capacity. level is at a depth greater than
or equal to B below the bottom
 You would normally of the footing (Figure a), the
have to consider one or groundwater has no effect on the
long-term bearing capacity.
more of three situations.
 GROUNDWATER EFFECTS
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Budhu

 Situation 2. If the groundwater

level is within a depth B below
the bottom of the footing such
that 0 ≤ z < B

 Ultimate net bearing capacity for

centric vertical loads

qu = γ Df (Nq -1) sq dq + 0.5 [γz + (γsat - γw) (B-z)] Nγ sγ dγ

 Groundwater effects
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Budhu

 Situation 3. If the groundwater

level is within the embedment
depth such that 0 ≤ z , ≤ D f
 Ultimate net bearing capacity for
centric vertical loads

qult = [γz + (γsat - γw) (Df - z)] (Nq -1) sq dq + 0.5 (γsat - γw) B Nγ sγ dγ

Groundwater level, which was initially at a depth of one footing width and
greater below the bottom of the footing and has now risen to the ground surface
and above, can reduce the long term bearing capacity by about one-half.
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Budhu
ULTIMATE AND ALLOWABLE BEARING CAPACITY

 The ultimate bearing capacity is

qult= qu + γD f
 The allowable or safe bearing capacity is
qu
q=
a + γD f
FS
FS is factor of safety ranging from 2 to 3; FS = 3 is most often
used in practice.
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Budhu
NET ULTIMATE AND ALLOWABLE LOAD CAPACITY

 The net ultimate load capacity is

Pu = qu B ′L′

 The allowable load capacity is

 qu 
=
Pa  + γD f  B ′L′
 FS 
 34
Budhu
SOME ISSUES WITH THE BEARING CAPACITY EQUATIONS
 There are many bearing
capacity factors proposed in
the literature based on
different failure surfaces and
analyses.
 Nγ is particularly sensitive to
small changes in friction angle
when φ′p > 30o .
 The Nγ developed by Davis and
Booker is based on a refined
plasticity method and gives
conservative values compared
with other methods in the
literature.
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Budhu
SOME ISSUES WITH THE BEARING CAPACITY EQUATIONS

 Plane strain conditions  Convert triaxial φ′p to

have been assumed in plane strain φ′p by an
developing the theoretical
bearing capacity approximate equation
equations.
 The values of φ′p should ( )
φ′p =
9
( )
φ′p
come from plane strain ps 8 tr

tests such as the direct

shear or direct simple
shear test.
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Budhu
SOME ISSUES WITH THE BEARING CAPACITY EQUATIONS

 The undrained shear  One practical method is to

strength, su, is not a average the su values over
fundamental soil property. a depth of 1.5B below the
bottom of the footing.

Average su over this depth

Depth su
 37
Budhu
SOME ISSUES WITH THE BEARING CAPACITY EQUATIONS
 Rough footing denotes a
footing in which full shear is
developed at the footing–soil
interface. It is common
construction practice to
compact a layer of coarse-
grained soils for the footing to
rest on.
 When a footing rests directly
on fine-grained soils smooth
footing should be used.
 There are other factors that
are applied to the bearing
capacity equations for
footings on slopes, sloping
footings, etc. See textbook
for these factors.
 For inclined loads, do not
apply any factor except
shape and inclination factors.
 SUMMARY
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Budhu

 The bearing capacity  Groundwater location has

equations provide an significant effects on the
estimate of the load
bearing capacity of soils. bearing capacity of soils.
 For fine-grained soils, you
must consider both short-
term and long-term
bearing capacities.
 Example
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Budhu

A footing 2 m square, subjected to a centric vertical load, is located at a

depth of 1.0 m below the ground surface in a deep deposit of
compacted sand (φ′=
p 35°, φ′=
cs 30 °, and γ =
sat 18 kN/m 3
. ) The
groundwater level is 5 m below the ground surface, but you should
assume that the soil above the groundwater is saturated. The friction
angles were obtained from plain strain tests. Determine the allowable
bearing capacity for a factor of safety of 3.
 Solution
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Budhu

 Step 1: Make a sketch of the  Step 2: Calculate the bearing

footing. capacity factors and geometric
factors.
π tan φ′p 2
φ′p  2 35° 
=Nq e tan= 45 ° +  e π tan 35° tan = 45° +  33.3
2  2 
 35 × π 
= =
N γ 0.1054 exp 9.6 φ′p (
0.1054 exp =

9.6 × )
180 
 37.1
B′ 2
sq = 1 + tan φ′p = 1 + tan 35° = 1.70
L′ 3
B′ 2
sγ =
1 − 0.4 =
1 − 0.4 =0.6
L′ 2
 Df 
(1 − sin φ′ )
2
d q = 1 + 2 tan φ′p tan −1 
 B ′ 
p

2   1 π 
=1 + ( 2 tan 35°)(1 − sin 35°)  tan −1   × =1.13
  2  180 
 Solution
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Budhu

 Step 4: Determine the allowable

bearing capacity.
qult 1533
=
qa = = 511 kN
FS 3

 Step 3: Calculate the ultimate net

bearing capacity.
qult =
γD f N q sq d q + 0.5γBN γ sγ d γ

= (18 ×1× 33.3 ×1.7 ×1.13) + ( 0.5 ×18 × 2 × 37.1× 0.6 ×1.0 )
= 1533 kN